- AON (New York, NY)
- Currently we have an exciting career opportunity for a Broker II (FSG) within Aon Commercial Risk Solutions' Financial Services Group ("FSG"). Are you ready to ... #LI-HYBRID 2567297 Currently we have an exciting career opportunity for a Broker II (FSG) within Aon Commercial Risk Solutions' Financial Services Group ("FSG").… more
- AON (New York, NY)
- Account Executive/ Broker II - (Professional Liability) New York (hybrid) Provide detailed support to Managing Director/Practice Leaders on complex Professional ... by the applicable plan documents and policies. #LI-BK1 #HYBRID 2548714 Account Executive/ Broker II - (Professional Liability) New York (hybrid) Provide detailed… more
- AON (New York, NY)
- Account Executive/ Broker II - (Professional Liability) New York (hybrid) Provide detailed support to Senior Vice-President on complex Professional Liability, ... is governed by the applicable plan documents and policies. 2570507 Account Executive/ Broker II - (Professional Liability) New York (hybrid) Provide detailed… more
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk...laws (including (i) the San Francisco Fair Chance Ordinance, ( ii ) the City of Los Angeles' Fair Chance Initiative… more
- Zurich NA (New York, NY)
- Property Underwriter (Senior - Level II or Executive Level III 130069 Zurich is seeking a Property Underwriter (Senior Property Underwriter (Level II ) or ... be filled at either the Property Underwriter (Senior Property Underwriter (Level II ) or Executive Property Underwriter (Level III)The hiring manager will determine… more
- GE Vernova (New York, NY)
- …products and services, including third-party fundraising and management. + Broker -Dealer Compliance: Coordinate and execute compliance obligations for regulated ... securities transactions arranged through a registered Broker -Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private placements and… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and ... Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group...laws (including (i) the San Francisco Fair Chance Ordinance, ( ii ) the City of Los Angeles' Fair Chance Initiative… more
- Raymond James Financial, Inc. (New York, NY)
- …of duties . Relevant risk-based regulatory schemes including Basel I and Basel II and current rules under review . Sarbanes Oxley regulations . Software development ... an understanding of the market standard risk management practices . Broker -dealer supervisory frameworks, retail investment platforms, and UHNW product risks… more
- Bank of America (New York, NY)
- …counterparty risk assessments tailored to institutional clients, hedge funds, and broker -dealers. + Working knowledge of regulatory and industry frameworks, such as ... MAR, MiFID II , Dodd-Frank, FATF, and local AML/CTF requirements applicable to capital markets. + Conceptual understanding of surveillance and financial crime… more
- Intercontinental Exchange (ICE) (New York, NY)
- …products and services, including designing products to aid in regulatory compliance, ( ii ) setting up, registering and providing legal support for an affiliated ... a regulated entity, with knowledge of the Investment Advisers Act. Knowledge of broker -dealer and/or CFTC regulations a plus. + Strong communication skills. + An… more
- MUFG (New York, NY)
- …services with an emphasis on Securities products + Strong understanding of the Broker Dealer KYC requirements + Knowledge in client life cycle management, in ... state and local laws (including (i) the San Francisco Fair Chance Ordinance, ( ii ) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii)… more
- Neuberger Berman (New York, NY)
- …and publish Aladdin-centric scorecards. + Experience with global standards, broker /custodian practices, and control frameworks; audit readiness and remediation in ... the need for current or future sponsorship. \#LI-DD2 \#LI-Hybrid Product Manager II Compensation Details The salary range for this role is $100,000-$120,000. This… more